Existing Waiver Authority

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Federal Program Requirements and Existing Waiver Authority

Program

Block Grant/Match

State Plan

Tracking & Reporting/Reconciliation

Waiver Authority

Medicaid

Match; rate depends on state and eligibility category.

States submit a State Plan outlining the nature and scope of the state’s program and giving assurance that it will be administered in conformity with the specific requirements of title XIX, applicable regulations, and other applicable issuances from HHS. It contains all information necessary for CMS to determine whether the plan can be approved to serve as a basis for FMAP.

Section 1115, gives HHS the authority to approve experimental, pilot, or demonstration projects that promote the objectives of the Medicaid and CHIP Programs and require waiver from section 1902 requirements.

States are required to furnish required benefits, as specified in law, but may go beyond to provide additional optional services.

States may submit State Plan Amendments, or request waivers of certain statutory requirements.

Medicaid agency must submit quarterly Budget Estimates via Form CMS-37 quarterly to HHS, and must submit expenditures through CMS 64.

Statute - States must submit a State Plan for “providing comprehensive community mental health services to adults with a serious mental illness and to children with a serious emotional disturbance” as described under section 300x-1 of the PHSA. The plan must include: a description of an organized community-based system of care for individuals with mental illness and available services and resources, an estimate of the incidence and prevalence of serious mental illness, a description of children’s services, outreach to and services for individuals who are homeless, and the financial resources, staffing and training for mental health providers necessary to implement the plan.

States use funding to develop and run programs and services for individuals without insurance or for whom coverage is termination for short periods of time.

Statute - In submitting an application annually for funds, a state must also submit an annual report detailing its use of the prior year’s funds. The report must contain information as determined by the Secretary as necessary to determine the purposes and activities of the state. The report currently requires information on implementation, state agency expenditures, performance indicators and accomplishments, and on recipients.

Statute provides the Secretary of HHS with waiver authority to waive MOE requirements “if extraordinary economic conditions in the state justify the waiver.”

Although States have flexibility to plan, carry out, and evaluate substance abuse prevention activities and treatment services provided, specified percentages of grant funds must be used for certain purposes – referred to as assurances - including: 20% for primary prevention, 5% for early HIV intervention in designated states, 5% for administration, and a 5% SAMHSA “set-aside” for data collection, evaluation, and TA. See also PHSA statute language.

Statute - States shall submit an application to the Secretary of HHS, via a standardized application form. A report must be submitted annually with the application and State Plan. The Secretary will approve an application which includes the assurances, the State plan, and the report that satisfies the requirements of this part and the relevant sections of the PHS Act.

State receives an annual Notice of Block Grant Award from SAMHSA after applying for funds through the Annual Uniform Application for SAPT.

States use funding to develop and run programs and services for individuals without insurance or for whom coverage is termination for short periods of time.

Statute - In submitting an application annually for funds, a state must also submit a report detailing its use of the prior year’s funds. The report must contain information as determined by the Sec as necessary to determine the purposes and activities of the state. It shall include: (1) statement of whether the state exercised its discretion to transfer block grant funds from substance abuse services to the Community Mental Health Services Block Grant allotment under section 1911 of the PHS Act or vice versa, (2) a description of the progress made by the state in meeting the prevention and treatment goals, objectives, and activities submitted in the application for the relevant year, (3) a description of the amounts expended under the Block Grant by the state agency, by activity, among others.

Statute - State must also maintain MOE expenditures and maintain compliance in order to receive approval for the next year’s funding.

Statute provides the Secretary of HHS with waiver authority to waive all or part of a requirement re allocation of 5 percent of the grant to treatment services for pregnant women and women with dependent children, if the state is already providing an adequate level of services.

Secretary also have authority to waive additional requirements for referrals and continuing education if the requirement involved is “unnecessary for maintaining quality in the provision of such services in the state”

Secretary may also waive all or part of the MOE requirement.

TANF

Block grant; state MOE requirement.

Only 26% of combined federal and state funding went to basic cash assistance in FY14, remainder covered a wide variety of benefits and activities, such as child care services or Pre-k.

Statute - States must submit a state plan to HHS that outlines how the state will provide TANF benefits (section 402 of the Act).

Consumers receive cash benefits, generally through a debit card.

Statute - Each state must collect on a monthly basis, and file on a quarterly basis, data specified in the TANF Data Report and the TANF Financial Report.

A description of the transitional services provided to families no longer receiving assistance due to employment,

A description of how a state will reduce the amount of assistance payable to a family when an individual refuses to engage in work without good cause pursuant to 45 CFR 261.14

The average monthly number of payments for child care services made by the state through the use of disregards, but type of child care provider

If the state has adopted the Family Violence Option and wants referral recognition, then it must provide a description of the strategies and procedures in place and an aggregate figure for the total number of good cause waivers granted.

A description of any non-recurrent, short-term benefits provided,

A description of the grievance procedures the state has established and is maintaining to resolve displacement complaints

A summary of state programs and activities directed at the 3rd and 4th statutory purposes of TANF; and

An estimate of the number of individuals who have participated in subsidized employment.

Per TANF program, states must also provide

Purpose and description of program benefits, services or activities

Total state expenditures, including state MOE expenditures,

Total number of families served under the program with MOE funds

Financial eligibility criteria for receiving MOE-funded program been fits for services

Section 1115, gives HHS the authority to waive compliance with the requirements of section 402 in the case of experimental, pilot, or demonstration projects which the Secretary determines are likely to assist in promoting the objectives of TANF. Under section 402, states must submit a state plan to HHS for approval.

Statute - States must submit a State Plan of Operation to the USDA, which includes a Federal/State Agreement, a Budget Projection Statement, and a Program Activity Statement. These are intended to provide plan and budget program operations and to establish objectives.

Consumers receive benefits generally through EBT card. Regulations provide for the functional requirements of the cards.

Statute provides that “each state agency shall keep such records as may be necessary to determine whether the program is being conducted in compliance with this Act.” States must also submit a report
According to regulations, each state agency shall have a system for monitoring and improving its administration of the program and is responsible for reporting on its administration to FNS.

States account for all benefits issued through a reconciliation process, management reports, and required issuance reconciliation reports.

Additionally, each state agency shall establish a performance reporting system. Components include (1) data collection through management evaluation reviews and quality control reviews, (2) analysis and evaluation of data from all sources, (3) correction action planning, (4) corrective action implementation and monitoring, and (5) reporting on program performance.

USDA is required to conduct an annual review of certain functions performed at the state agency level and to review to state agencies’ management evaluation systems.

Note – USDA released an RFI in 2016 requesting information on the information collected through the performance reporting system.

Statute provides the Secretary with the authority to conduct pilot projects “to test program changes that might increase the efficiency” of SNAP and allows for the waiver of any requirement of statute to “the extent necessary for the project to be conducted.” However, only 0.25% of appropriations are available to carry out such projects.

Regulations - 7 CFR
272.3(c)(1)(ii), USDA is allowed to approve waivers “to deviate from specific regulatory provisions” that would result in a more effective and efficient administration of the program.

Statute - By August 15 of each year, each state agency must submit to USDA for approval a State Plan for the following FY as a prerequisite to receiving funds. The State Agency may submit the State Plan in the format provided through USDA guidance, or may submit the information in combination with other federally required planning documents or provide its own format, provided that the required information is provided. See also statutereqs. (pg. 25)

State Plan shall include: (1) outline of goals and objectives for improving program operations, including EBT and EBT implementation, (2) budget for nutrition services and administration funds, and estimate of food spending, (3) estimate of participation by category of women, infants, and children, (4) the State agency staffing pattern, (5) plans to provide information and notice about the program, (6) a description of how the agency plans to coordinate program operations with other services or programs that may benefit participants in, or applicants for, the program, (7) nutrition education goals and action plans, among many others.

Consumers receive benefits through an EBT card, or paper checks.

Statute – “state and local agencies operating under the program shall keep such accounts and records, including medical records, as may be necessary to enable the Secretary to determine whether there has been compliance with this section and to determine and evaluate the benefits of the nutritional assistance provided under this section.”

USDA and State agencies shall establish a management evaluation system to assess the accomplishment of program objectives, guidelines, instructions, and the agreement with the Department.

State agencies shall maintain a financial management system which provides accurate, current and complete disclosure of the financial status of the program, This includes an accounting for all property and other assets and all program funds received and expended each fiscal year.

State agencies must obtain annual audits, and state must require local agencies under their jurisdiction to obtain audits in accordance with 2 CFR part 200.

Under 7 CFR 272.3(c)(1)(ii), USDA is allowed to approve waivers “to deviate from specific regulatory provisions” that would result in a more effective and efficient administration of the program.

States must allocate a “reasonable amount” for “energy crisis intervention.” Funding must also support coordination with similar and related programs, particularly low-income energy-related programs.

No more than 10%t of the funds may be used for planning and admin. States must pay for the remaining admin costs.

Statute - States must submit an application to the Secretary of HHS, in such form as the Secretary shall require.

Statute - As part of the annual application, the state shall prepare a State Plan which describes the eligible requirements to be used by the state for each type of assistance, the benefit levels to be used by the state, estimates of the amount of funds the state will use for each of the programs, describes weatherization and other home repair the state will provider, among others.

States can provide assistance to consumers, or may choose to pay home energy suppliers directly for energy costs.

Statute - States must report (as part of its LIHEAP grant application) certain data required on the households assisted.

Statute - States must provide that such fiscal control and fund accounting procedures will be established as may be necessary to assure the proper disbursal and accounting for federal funds paid to the state.

42 USC 8624, provides that states can apply to waive statutory limits on the proportion of funds that can be used for residential weatherization or other energy-related home repair for low-income households.

For example, in 2012, the State of Washington requested a higher proportional of allowable funding to be allocated towards its Weatherization Assistance Program.

Social Services Block Grant

Block grant; no matching requirement for states.

States have broad flexibility in spending funds, though funds must go towards programs or services that meet one of 5 statutory goals.

Statute - Before receiving SSBG funds, states must annually submit a report specifying the intended use of the block grant, including information on the types of activities to be supported and the categories or characteristics of individuals to be served. 42 U.S.C. §1397c. States are not required to, but are encouraged to, submit a pre-expenditure report using a standard format.

Statute - States must report using a standard post-expenditure reporting form:

SSBG expenditures,

Expenditures of other sources of funds (inc. TANF),

Total expenditures,

The amount expended for each service category, and the total number of adults and children served.

Social services are reported based on 29 service categories that are grouped into like classes, referred to as SSBG high level service areas.

Note- States may transfer up to 10% of their TANF block grants to the SSBG. 42 U.S.C. §604(d)(3)(B). States range widely in the proportion of SSBG that are TANF reallocated funds. For ex: 12 states do not allocate any, whereas almost 70% of NY’s SSBG expenditures come from TANF.

States may only waive funding restrictions under “extraordinary circumstances” requiring a waiver in order for the state to carry out the purposes of the block grant.

Otherwise, no waiver authority. Intended to have built-in flexibility as a block grant.

Comm. Services Block Grant

Block grant; no matching requirement for states.

Per statute - States must submit a State Application and plan covering a period of not less than one fiscal year and no more than two fiscal years. The state plan must include: (1) assurance that funds will be used to support activities designed to assist low income individual and families, (2) a description of how the State intends to use discretionary funds, (3) information provided by eligible entities in the state containing the service delivery system and how linkages will be developed to fill in gaps, among many others.
In applying for funds, a state may modify the assurance for an audit required by section 675(c)(9) of the Reconciliation Act (42 USC 9904(c)(9)).

States provide funding to eligible entities to provide consumer services and programming.

Statute requires the state to conduct reviews of eligible entities to determine whether they meet the performance goals, administrative standards, financial management requirements, and other requirements of a state.

States shall establish fiscal control and fund accounting procedures to assure the proper disbursal of and accounting for Federal funds paid to the State under law. Each state that receives funds shall participate, and shall ensure that all eligible entities in the State participate, in a performance measurement system, which may be a performance measurement system for which the Secretary facilitated development or an alternative system that the Secretary is satisfied meets its requirements.

Each state shall annually prepare and submit to the Secretary a report on the measured performance of the state and the eligible entities in the state. Each state shall also include in the report an accounting of the expenditure of funds received by the state through the community services block grant program, including an accounting of funds spent on administrative costs by the state and the eligible entities, and funds spent by eligible entities on the direct delivery of local services, and shall include information on the number of and characteristics of clients served under the grant. The state shall also include in the report a summary describing the training and TA offered by the state.

24 CFR 570.5 “HUD’s authority for the waiver of regulations and for the suspension of requirements to address damage in a Presidentially declared disaster area is described in 24 CFR Part 5 and in section 122 of the Act.”

States must establish a Consolidated Plan that is approved by the federal government that serves as a framework for a community-wide dialogue to identify housing and community development priorities that align and focus funding from the following block grant programs: Community Development Block Grant, HOME Investment Partnerships Program, and others.

Performance evaluation report detailing its progress toward the goals identified in the action plan. The report shall contain (1) a description of the progress made in accomplishing the objectives of the chapter, (2) a summary of the use of such funds during the preceding fiscal year, (3) a listing of each unit of general local government receiving funds and the amount of such grants and a brief summary of the projects funded for each unit, and (4) a description of activities carried out under 42 USC Chapter 69, section 5308.

HUD has an Integrated Disbursement and Information System (IDIS) which is used for financial and performance reporting and accounting.

Statute provides that certain provisions can be waived in the event of an emergency declaration.

Each jurisdiction must allocate at least 25% of funding to housing that qualifies as affordable housing under the HOME program. Jurisdictions may fund a range of eligible activities, and up to 10 percent of the annual allocation may be used for program planning and admin.

States are automatically eligible for HOME funds and receive either their formula allocation or $3 million, whichever is greater. Participating jurisdictions must have a current and approved Consolidation Plan, which includes an Action Plan that described how the jurisdiction will use its HOME funds.

HOME Investment Trust Fund Account is managed through the Integrated Disbursement and Information System (IDIS) which is used for financial and performance reporting and accounting.

Each participating jurisdiction must submit management reports on its HOME Investment Partnerships Program in such format and at such time as HUD may prescribe. Each must also submit an annual performance report, which must include a description of the resources made available, the investment of available resources, the geographic distribution and location of investment, the families and persons assisted, actions taken to affirmatively further fair housing, and other actions indicated in the strategic plan and the action plan.

HUD allocates available budget authority through a competitive process to PHAs.

a href="https://www.law.cornell.edu/uscode/text/42/1437f" target="blank">Statute - HUD and the PHA sign an Annual Contributions Contract (ACC), under which HUD agrees to make payments to the PHA over a specific period, for housing assistance payments to owners and for the PHA administrative fee. The PHA agrees to administer the program in accordance with HUD regulations and requirements.

PHAs submit applications in response to Notices of Funding Availability from HUD.

Per statute – PHAs must establish, and submit to HUD, 5-year and annual plans. PHAs must submit annual plans in order to receive funding for Housing Choice and Public Housing, from which PBRA is funded.

As part of the plans, PHAs must adopt a written Administrative Plan that establishes local policies for administration of the program in accordance with HUD requirements; the Administrative Plan is a supporting document to the PHA Plan, and covers the PHA’s policies on: selection and admission of applicants from the PHA waiting list, issuing and denying vouchers, any special rules for use of available funds, occupancy policies, etc.

For each PHA fiscal year, the PHA must submit its proposed budget for the program to HUD for approval at such time and in such form as required by HUD.

A PHA issues a housing voucher to qualified families. The family is responsible for finding a suitable housing unit where the owner agrees to rent under the program. The PHA pays the housing subsidy directly to the landlord on behalf of the participating family.

The PHA must maintain complete and accurate accounts and records for the program in accordance with HUD requirements, in a manner that permits a speedy and effective audit.

HUD does not specifically allocate funding for PBRA, rather it comes from funds already obligated to a PHA under its ACC. The PHA can use up to 20 percent of its Housing Choice Vouchers for project based vouchers.

PHAs submit applications in response to Notices of Funding Availability from HUD.

Per statute – PHAs must establish, and submit to HUD, 5-year and annual plans. PHAs must submit annual plans in order to receive funding for Housing Choice and Public Housing, from which PBRA is funded.

As part of the plans, PHAs must adopt a written Administrative Plan that establishes local policies for administration of the program in accordance with HUD requirements; the Administrative Plan is a supporting document to the PHA Plan, and covers the PHA’s policies on: selection and admission of applicants from the PHA waiting list, issuing and denying vouchers, any special rules for use of available funds, occupancy policies, etc.

For each PHA fiscal year, the PHA must submit its proposed budget for the program to HUD for approval at such time and in such form as required by HUD.

The PHA must maintain complete and accurate accounts and records for the program in accordance with HUD requirements, in a manner that permits a speedy and effective audit.

Program receipts (funding) must be used in accordance with the PHA’s HUD-approved budget.

Tenant-based assistance made to apartments in new or existing Rural Rental Housing and Farm Labor Housing financed properties. The owner of the housing project is payed the difference between the tenant’s contribution and the monthly rental rate calculated based on project costs.

No state plan, only private owners available. The housing project owner applies for rental assistance or eligible tenants can petition the owner to apply.

Statute - HUD awards grants on a competitive basis either by directly awarding funds to project sponsors or by awarding funds to unified funding agencies.

Not less than 30 percent of the sums made available shall be used for permanent housing for homeless individuals with disabilities and homeless families with disabilities.

10 percent must be set aside for permanent housing for homeless families with children

Also covered under the PHA Consolidated Plans covered under part 92 of title 24, Code of Federal Regulations.

Statute - In order to receive federal funds, a “Collaborative Applicant” must submit an application describing how the number of individuals and families who become homeless will be reduced in the community, how the length of time that individuals and families remain homeless will be reduced, how the recipient will collaborate with local education authorities, and the extent to which the recipient will address the needs of all relevant sub populations, set quantifiable performance goals, and identify specific funding sources for planned activities, among others.

The Collaborative Applicant may then be selected or designated as a unified funding agency for a given geographic area by HUD

Unified funding agencies or project sponsors submit applications at such time and in such manner as HUD may require. Statues specifies list of eligible activities for grants and use restrictions.

Entities must report on counts of homeless persons by household type and subpopulation.

Per section 427 of statute, CoCs must report to HUD their system-level performance. Performance is also calculated through the Consolidated Plan.

Two forms of federal assistance: capital advances to private, nonprofit orgs and allocations from HUD’s Annual Contributions Contract (ACC) to states to support tenant-based assistance to persons with disabilities.

Statute - For project rental assistance, state agencies apply to HUD for funding for eligible projects based on criteria established by the Secretary.

For capital advances, private nonprofit organizations must submit an application to the Secretary that contains a description of the proposed housing, the assistance the applicant seeks, a supportive service plan, and the appropriate certifications

The program operates in two ways: (1) through interest-free capital advances and operating subsidies to nonprofit developers of affordable housing for persons with disabilities; and (2) providing project rental assistance to state housing agencies.

Given funding for the program is allocated from the ACC between HUD and various PHAs, reporting would fall under existing PHA reporting requirements.

The PHA must maintain complete and accurate accounts and records for the program in accordance with HUD requirements, in a manner that permits a speedy and effective audit.

Program funded through federal capital advances. Project rental assistance funds to cover the difference between the HUD-approved operating cost and the tenants’ rent contribution.

Statute does not mandate a state plan; only private nonprofits are eligible to apply for funding and manage the program. Applicants must submit an application to HUD in response to a Notice of Funding Availability.

Private organizations use the funding for supportive housing for the elderly.

Secretary of HUD will delegate processing of activities funded by a combination of section 202 and other sources.

-1/3 of allotment based on the relative number of unemployed individuals in areas of substantial unemployment
-1/3 based on relative excess number of unemployed
- 1/3 based on the number of disadvantaged adults

Statute – For a state to be eligible to receive allotments for WIOA programs, the Governor must submit to the Secretary of Labor a unified state plan that outlines a 4-year strategy for these programs. The plan shall include strategic planning elements and goals for an educated and skilled workforce, including an analysis of the state’s economic conditions, the current workforce, workforce development activities in the state, and a description of the state’s strategic vision. The plan must also include operational planning elements.

The plan is subject to approval of both the Secretary of Labor and the Secretary of Education) after approval by the Commissioner of the Rehabilitation Services Administration.

States may also submit a combined state plan for the core WIOA programs and one or more programs related to workforce development, including TANF, HUD, & CSBG, etc

States use funding for adult, dislocated worker, and youth employment and training activities.

Statute establishes performance accountability measures that apply across the core programs to assess the effectiveness of states and local areas in achieving positive outcomes for individuals served by these core programs. Each state shall identify in the state plan expected levels of performance for each of the corresponding primary indicators of performance for the first 2 program years and then the state and Secretary of Labor and Secretary of Education will reach an agreement on levels of performance for the third and fourth program years.

Statute – States use a template developed by the Secretary of Labor and Secretary of Education to annually report on achieved outcomes. State performance reports must include: levels of performance achieved for each program, improvement for individuals with barriers to employment, number of participants served by the programs, number of participants who received career and training services, etc.

Statute provides states with flexibility to waive certain statutory or regulatory requirements applicable, except for requirements relating to basic purposes, wage and labor standards, grievance procedures and judicial review, and functions of local areas and local boards, procedures for review and approval of local plans, and worker rights, participation and protection, among others.